Publications

The challenges regulating in-house lawyers

Law Society Gazette – Axiom Ince – what needs to happen now

Risk Update November 2023

Axiom Ince Ltd - Professional indemnity insurance (PII) and successor practices - Artificial intelligence (AI) - Anti-money laundering (AML) and Sanctions - Data protection - SRA investigations - Accounts Rules training

Successor practices for solicitors: Crystal ball required

When do solicitors need to notify their insurers of problems?

Risk Update September 2023

Professional indemnity insurance (PII) - Anti-money laundering (AML) - Artificial intelligence (AI) - Costs law

Should solicitors change insurer?

Solicitors’ Professional Indemnity Insurance Renewal 2023

Block notifications – the Solicitors’ PII renewal 2023

Risk Update July 2023

20 years of specialist legal advice from Legal Risk - Artificial intelligence (AI) and cyber security - Professional liability and indemnity insurance - Data protection — and email cyber security - AML and financial sanctions

Law Society Gazette – Post Office scandal: echoes of Watergate?

Risk Update May 2023

Anti-money laundering (AML) - Trust or Company Service Provider (TCSP) services - OPBAS supervision report - Defence Against Money Laundering (DAML) - Conflicts of interest - Personal liability of LLP members - Sanctions

Risk Update March 2023

Artificial Intelligence (AI) - Anti-money laundering (AML) - Legal Ombudsman (LeO) Rule Changes - Outside Counsel Guidelines - Sanctions - Data protection - Professional indemnity insurance - Reserved legal activities - SRA

New Law Journal – 2023: Challenges & risks ahead

Risk Update January 2023

Professional regulation - supervision - Anti-Money Laundering (AML) and Sanctions - We’re recruiting - Legal professional privi-lege (LPP) - and more AML - Professional indemnity insurance - Cyber and information security

Risk Update November 2022

Anti-money laundering (AML) - Professional indemnity insurance (PII) - and Solicitors Indemnity Fund (SIF) - Fiduciary duties and retainers - Data protection and information security

The Future of Solicitors Indemnity Fund

Risk Management in Law Firms: Mitigate Risk and Enhance Firm Success

Risk Update September 2022

Anti-money laundering (AML) Firmwide Risk Assessments: Two risks to note - Register of overseas entities (ROE): Law Society warning - Professional indemnity insurance (PII) and Solicitors Indemnity Fund (SIF) - General insurance—a warning - Defensive practice - Undertakings - Who owns the file? - Risk Management in Law Firms: Mitigate Risk and Enhance Firm Success

Next steps on the Solicitors Indemnity Fund (SIF) and consumer protection for negligence claims: Our response to the SRA Discussion paper

Protecting partner assets: insurance is not enough (Part 6)

Protecting partner assets: insurance is not enough (Part 5)

Protecting partner assets: insurance is not enough (Part 4)

Protecting partner assets: insurance is not enough (Part 3)

Risk Update July 2022

Anti-money laundering (AML) and Sanctions - Conflicts of interest: remote working provides a new twist - Our team - Data protection, information security and cyber crime - Professional regulation - Professional indemnity insurance: Why insurers fail and other coverage problems

Risk Update May 2022

Information security and cyber risks - Conflicts and Confidentiality - Anti-money laundering (AML) and Sanctions - Insurance and Solicitors Indemnity Fund (SIF)

New Law Journal – Russian sanctions compliance: the Devil no longer wears Prada

Risk Update March 2022

Will insurers be running for the hills over cyber as they did with Covid claims? - Data protection - International sanctions - Anti-money laundering - Professional indemnity insurance

Risk Update January 2022

Professional indemnity insurance (PII): the future of Solicitors Indemnity Fund (SIF) - Anti-money laundering (AML) - Limiting liability and SRA enforcement action - Information security and data protection

Legal Compliance January 2022 – Professional Indemnity Insurance: Please mind the gap

A case of over-zealous prosecution: Solicitors fined for limiting liability in line with SRA guidance

Risk Update November 2021

Cryptoassets - what are the risks for law firms? - Anti-money laundering (AML) - Conflicts of interest - Data Protection, Information Security and Cyber Insurance

Risk Update September 2021

Professional Indemnity Insurance (PII) - Anti-money laundering (AML) - Data protection and information security - Professional regulation

Risk Update July 2021

Our 100th issue - Anti-Money Laundering (AML) and Financial Sanctions - Regulation - Professional indemnity insurance - Data protection - Threats to legal professional privilege (LPP) - Cyber - Legal Ombudsman

Risk Update May 2021

Anti-money laundering (AML), independent audits, and financial sanctions - Data protection - Cyber security - Professional indemnity insurance: cyber exclusion - Events

Risk Update March 2021

Professional indemnity insurance - Data Protection - Anti-Money Laundering (AML) - Environmental risks - Professional regulation - DAC6/Mandatory Disclosure Rules (MDR) - Cyber

New Law Journal – A sting in the tail?

Risk Update January 2021

Brexit - Anti-Money Laundering (AML) and Financial Sanctions - Professional indemnity insurance and 'silent cyber' - DAC6/Mandatory Disclosure Rules (MDR) - Data protection

Risk Update November 2020

Limitation of liability - Anti-Money Laundering (AML) - Conflicts of interests - Professional indemnity insurance - Data protection and information security

Solicitors professional indemnity could become unsustainable

Risk Update September 2020

Anti-money laundering (AML) - Risk and Audit Committees - Professional indemnity insurance (PII) - Data protection and information security

Block notifications – the Solicitors’ PII Renewal 2020

The problem - An important tool in the broker's armoury - Notifiable circumstance - Making an effective block notification

Risk Update July 2020

Webinar: The road to recovery - Anti-money laundering (AML) - DAC6: Deferral of reporting deadlines - Costs - Professional Indemnity Insurance - Conflicts and Confidentiality - Data Protection

Risk Update May 2020

The Road to Recovery-Anti-money laundering (AML)-Conflicts and Confidentiality-Professional indemnity insurance-Data protection and information security

Risk Update March 2020

Coronavirus (Covid-19)- Anti-money laundering (AML) -Data Protection - Conflicts of interests - Brexit - Legal professional privilege - Termination of retainers and Conditional Fee Agreements (CFAs)

Risk Update • January 2020

Anti-Money Laundering (AML) - SRA Standards and Regulations - Conflicts of Interests - Professional Indemnity Insurance - Data Protection

Legal Compliance January 2020 – Reaching for the STARs

Frank Maher outlines an action plan for COLPs and risk directors responsible for implementing the new SRA Standards and Regulations (STARs). First published in Legal Compliance, a Law Society publication, January 2020.

Risk Update • November 2019

"There will be many, many more prosecutions in relation to AML" - SRA Standards and Regulations 2019 - Investment schemes - Brexit - Preserving confidentiality and data protection

Risk Update • September 2019

SRA Standards and Regulations – Professional indemnity insurance (PII) – Anti-money Laundering (AML) – Cyber – Conflicts

Legal Compliance July 2019 – A matter of principle

Francis Dingwall shares his views on legal ethics. First published in Legal Compliance, a Law Society publication, July 2019.

Risk Update • July 2019

Anti-Money Laundering (AML) – Conflicts – Help! I’m a new Compliance Officer/MLRO… – Data protection – What links PPI, PII and the new SRA Code?

Risk Update • May 2019

Anti-Money Laundering: The crackdown – SRA Standards and Regulations – Conflicts of interest and costs problems – Professional indemnity insurance concerns – Data protection

Risk Update • March 2019

Anti-Money Laundering – Confidentiality – SRA Standards and Regulations – Cyber – Data Protection – Conflicts of Interest

Cautionary Tales: lessons in ethics for lawyers

£7.99 Can be purchased through Wildy & Sons Ltd or by calling 0345 330 6791.

Risk Update • January 2019

Brexit – Anti Money Laundering – Me Too – Data Protection – Who owns the files? – Professional Indemnity Insurance – Conflicts of Interests

NLJ – Controlling risk

Frank Maher shares some predictions for law firm risk.

GDPR: 6 months on – An update for US law firms (December 2018)

Extra-territorial scope – Controller or processor? – Consent – Cross-border data transfers – Anti-money laundering – Data breaches – Common problems – Cyber Crime and GDPR: the need for training

Risk Update • November 2018

Our predictions for law firm risk – Anti Money Laundering – Professional Regulation – Professional Indemnity Insurance – Data Protection

Risk Update • September 2018

Legal professional privilege – AML – Data Protection – Border control – Conflicts – Professional Indemnity Insurance

Risk Update • July 2018

Anti-money laundering (AML) – General Data Protection Regulation (GDPR) – Professional indemnity insurance – Artificial Intelligence (AI): Supervision, regulation and ethics – Cyber – Referral fees – 15 years of Legal Risk

SRA PII Consultation Response

Our response to the SRA consultation on Protecting the users of legal services: balancing cost and access to legal services

SRA PII Consultation: Saving on the cost of lifeboats on the Titanic

Commentary on the risks posed by the Solicitors Regulation Authority’s consultation on changes to the requirements for compulsory professional indemnity insurance.

Proving dishonesty: the indemnity consultation

First published in issue 55, The Legal Compliance Bulletin, May 2018. All solicitors know about the role of the SDT, but are they aware of a hidden second tier of proceedings lurking in their indemnity insurance policies?

Risk Update • May 2018

Dreamvar: solicitor as guarantor – PII Consultation: how to avoid nightmares like Dreamvar – SRA’s ‘Innovate’ initiative – Limits on ‘acting in the client’s best interests’ – AML - Westminster’s new mood – Sanctions - USA’s new drumbeat – GDPR

SRA proposals for PII reform – are there any winners? | JLT

First published here: https://www.jlt.com/en-uk/insights

Risk Update • March 2018

Demolition job: SRA Consultation on Professional Indemnity Insurance (PII) - Challenging opponents’ legal costs - What is integrity? - General Data Protection Regulation - Conflicts of Interests and Confidentiality - AML - Non-disclosure agreements

Risk Update • January 2018

Anti-money laundering (AML) and financial crime - General Data Protection Regulation (GDPR) - Professional Indemnity Insurance - SRA investigations and disciplinary proceedings - Conflicts of interests - Acquisition of practices and transfer of instructions

A Review of 2017 and Predictions for 2018

Frank Maher takes a look back over 2017 and identifies some of the key developments in the pipeline for 2018. First published in Legal Compliance Bulletin, Issue 53, Jan 18